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• In this plan is should encompass the following:
1. Enforcement Processes, 2. Governing Document Reviews, 3. Technology Updates, 4. Trainings, 5. Compliance:
DEVELOP A REGULATORY MANAGEMENT PLAN
Ø Define how compliance will be achieved, Ø What tools will be needed to achieve compliance including updates to technology,
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STABLE FUNDING
• Known to many Regulators funding is not stable and is very volatile
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